Regulations Governing Securities Firms Article 65
When the regulatory capital adequacy ratio of a securities firm is at least 100 percent but is less than 120 percent, the FSC, in addition to doing as set out in subparagraphs 1 and 2 of the preceding article, additionally may take the following actions:1. Reduce its scope of business operations.2. Require the securities firm to fill out and report weekly a securities firm capital adequacy reporting form.3. If the capital adequacy ratio has not been corrected by the end of the month preceding any proposal by the board of directors for distribution of profits, in addition to requiring the securities firm to deduct from its undistributed earnings those items required to be set aside according to regulations, it shall further be required to set aside 40 percent as special reserve in accordance with Article 41, paragraph 1 of the Act.
中文原文 證券商管理規則第65條
證券商自有資本適足比率達百分之一百，低於百分之一百二十時，本會除得依前條第一款及第二款規定辦理外，亦得為下列之處置：
一、縮減其業務範圍。
二、要求證券商每週填製及申報證券商資本適足明細申報表。
三、截至董事會提議盈餘分配案前一個月底之資本適足比率如仍未改善者，要求其未分配盈餘於扣除依規定應提撥之項目外，餘應再依本法第四十一條第一項規定，提列百分之四十為特別盈餘公積。
一、縮減其業務範圍。
二、要求證券商每週填製及申報證券商資本適足明細申報表。
三、截至董事會提議盈餘分配案前一個月底之資本適足比率如仍未改善者，要求其未分配盈餘於扣除依規定應提撥之項目外，餘應再依本法第四十一條第一項規定，提列百分之四十為特別盈餘公積。